US6122622A - Computer aided system for compliance with chemical control laws - Google Patents
Computer aided system for compliance with chemical control laws Download PDFInfo
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- US6122622A US6122622A US09/025,232 US2523298A US6122622A US 6122622 A US6122622 A US 6122622A US 2523298 A US2523298 A US 2523298A US 6122622 A US6122622 A US 6122622A
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- G—PHYSICS
- G06—COMPUTING; CALCULATING OR COUNTING
- G06Q—INFORMATION AND COMMUNICATION TECHNOLOGY [ICT] SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES; SYSTEMS OR METHODS SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES, NOT OTHERWISE PROVIDED FOR
- G06Q10/00—Administration; Management
- G06Q10/10—Office automation; Time management
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- G—PHYSICS
- G06—COMPUTING; CALCULATING OR COUNTING
- G06Q—INFORMATION AND COMMUNICATION TECHNOLOGY [ICT] SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES; SYSTEMS OR METHODS SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES, NOT OTHERWISE PROVIDED FOR
- G06Q10/00—Administration; Management
- G06Q10/08—Logistics, e.g. warehousing, loading or distribution; Inventory or stock management
- G06Q10/087—Inventory or stock management, e.g. order filling, procurement or balancing against orders
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- G—PHYSICS
- G06—COMPUTING; CALCULATING OR COUNTING
- G06Q—INFORMATION AND COMMUNICATION TECHNOLOGY [ICT] SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES; SYSTEMS OR METHODS SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES, NOT OTHERWISE PROVIDED FOR
- G06Q99/00—Subject matter not provided for in other groups of this subclass
Definitions
- the present invention generally relates to computer systems and information management systems, and more particularly to a method and apparatus for managing and using information necessary for compliance with domestic and international Chemical Control Laws.
- Chemical Control Laws are designed to protect human health and the surrounding environment from the deleterious effects of hazardous chemicals.
- CCLs Chemical Control Laws
- CCLs include: the United States Toxic Substances Control Act (TSCA); the Canadian Environmental Protection Act (CEPA); the EEC (European Economic Community) Directive; the Japanese Ministry of International Trade and Industry (MITI) Law; the New Zealand Toxic Substances Act (TSA); the Philippine Law (RA 6969); the Chinese National Environmental Protection Act (NEPA); the Korean Toxic Chemical Control Law (TCCL); and the Australian National Industrial Chemical Notification Act Services (NICNAS).
- TSCA United States Toxic Substances Control Act
- CEPA Canadian Environmental Protection Act
- EEC European Economic Community
- TSA New Zealand Toxic Substances Act
- TSA the Philippine Law
- NEPA Chinese National Environmental Protection Act
- TCCL Chinese Toxic Chemical Control Law
- NICNAS Australian National Industrial Chemical Notification Act Services
- Registration requirements in general are considered to have two main components: registration requirements and special requirements. Registration requirements have followed two lines of evolution resulting in product-based laws and inventory laws. Both types of registration have been interpreted to have registration (inventory) exemptions for incidental impurities, byproducts, and non-regulated chemicals.
- Product-based laws require registration of the exact chemical composition of each product (i.e., finished good) with the proper government authorities of the end-use country or region. Registration typically involves submission of a completed form and a filing fee. China and New Zealand, for example, currently employ product-based laws.
- Inventory-based laws have national or regional inventories which are lists of chemicals approved for commercial manufacture, import and sales in the particular country or region of the world. Each chemical component of a product is required to be listed on an inventory prior to commercial manufacture, import or sale. Additions to an inventory are accomplished through registration of the unlisted chemical component and involves the submission of a completed registration form, supplying certain required data, and a filing fee.
- Inventories can be dynamic or static. The dynamic inventory allows for additions and deletions of listings, while the static inventory is fixed; in other words, static inventories require registration of each new chemical by any company seeking to manufacture, import, distribute or sell the chemical in the country or region of interest, and these registered chemicals will not be added to the static inventory.
- the special requirements regulate aspects of a chemical's or product's use, such as lifecycle restrictions.
- the special requirements may also include sponsoring of testing for health and environmental effects, restrictions in production volumes, processes, and uses.
- Special requirements sometimes further include a required export notification to certain government agencies in the end-use countries. Recording and reporting of adverse effects of chemicals on human health or the environment is another special requirement.
- the diagram of FIG. 1 schematically illustrates the major parts and differences of current Chemical Control Laws as generally described above.
- an apparatus and process for compliance with domestic and international Chemical Control Laws generally comprises at least one raw material database file, at least one formula database file, at least one manufacturing status database file, at least one sales status database file, at least one regulatory worksheet program, and at least one update program, all residing on a computer system.
- FIG. 1 is pictorial representation of various aspects of different types of existing Chemical Control Laws (CCLs);
- FIG. 2 is a block diagram of one embodiment of a computer system constructed in accordance with the present invention, used to achieve compliance with different Chemical Control Laws;
- FIG. 3a is a graphic representation of a program screen (information displayed on a computer monitor) providing an interface for the formula database file shown in FIG. 2;
- FIG. 3b is a graphic representation of a program screen providing an interface for the manufacturing status database file shown in FIG. 2;
- FIG. 3c is a graphic representation of a program screen providing an interface for the product sales status database file shown in FIG. 2;
- FIG. 4a is a graphic representation of a program screen providing an interface for the regulatory worksheet generated by the worksheet program shown in FIG. 2;
- FIG. 4b is a graphic representation of a program screen depicting CCL statuses for a particular raw material
- FIG. 5 is a graphic representation illustrating the fields and records of the raw material database file shown in FIG. 2;
- FIG. 6 is a graphic representation illustrating the fields and records of the formula database file shown in FIG. 2;
- FIG. 7 is a graphic representation illustrating the fields and records of the manufacturing status database file shown in FIG. 2;
- FIG. 8 is a graphic representation illustrating the fields and records of the product sales status database file shown in FIG. 2;
- FIG. 9 is a graphic representation illustrating the regulatory worksheet screen layout.
- Chemical Control Law Compliance System in accordance with the invention provides an electronic means for storing Chemical Control Law inventory listing information which can be updated by simply downloading government published files or by direct entry.
- the system is structured so that any changes in the information of the database files will automatically transfer to pertinent files, and the legality of manufacturing, importing or selling a chemical product in a particular CCL jurisdiction (country or region) is determined with Boolean logic.
- a user interface, together with electronic Chemical Control Law inventories and any additional internally created database entries, enable users to quickly locate desired Chemical Control Law information, display archives, or print reports or forms on demand.
- the invention is implemented in a computer system which assists with CCL compliance, wherein the computer system includes a central processing unit (CPU) for carrying out program instructions, a storage medium (e.g., hard disk) for storing the program instructions and database information, at least one user output device, such as a display or printer, and at least one user input device, such as a keyboard.
- the programming was developed on an IBM (International Business Machine Corp.) AS/400 model midrange computer using RPG III, CL, and SQL (Structure Query Language).
- IBM International Business Machine Corp.
- CL Computer Programmable gate array
- SQL Structure Query Language
- CCL compliance system 10 includes several database files 12, 14, 16 and 18 which store information for (i) raw materials, (ii) formulas (recipes for product numbers), (iii) CCL manufacturing statuses for chemicals, raw materials and product numbers, and (iv) CCL sales statuses for chemicals, raw materials and products, as well as chemical names.
- An interface is provided for each of these files.
- Interface 20 is used for raw material file 12;
- interface 22 is used for formula file 14;
- interface 24 is used for a temporary file 26 which, along with an update program 28, is used to construct manufacturing status file 16; and
- interface 30 is used for sales status file 18.
- the information in these files is utilized by programming instructions which determine overall CCL manufacturing and sales statuses for product numbers, and update overall statuses when changes occur in the CCL statuses of chemicals, raw materials, or CCL registration numbers. All information is arranged in a logical fashion by the worksheet program 32, which has a further interface 34. Information from worksheet program 32 can be forwarded on demand to an output device 36 such as a printer or display.
- database file 12 holding the raw material information contains at least the following fields for each record: a specific raw material number; a raw material description (e.g., supplier tradename); and percent reactive (% of reactive ingredient or purity of the neat raw material).
- the primary key of database file 12 is the unique six-digit raw material (RM) number. This raw material information is solicited from the raw material suppliers.
- database file 14 holding the formula (product) information contains at least the following fields for each record: product number; sequence number; RM number; and percent of the raw material.
- the primary key of this database file is product number and sequence number.
- the foreign key is the RM number.
- the information entered is based upon formulas developed in the research lab, using the interface shown in FIG. 3.
- database file 16 holding the manufacturing status information stores CCL inventory status information associated with a particular CAS number, raw material number, product number (finished good), or premix number (internally manufactured raw material) for each CCL country or CCL region of the world.
- a CCL manufacturing status is entered as a "Y" (yes) if the item is listed on a particular CCL inventory, as a "N" (no) if the item is not listed on the particular CCL inventory, or as a "U” if the listing is unknown.
- the fields of this file are: chemical name; type; registration number; RM number; product number; manufacturing (mfg) status #1; manufacturing status #2; etc. This information can be entered using the interface shown in FIG. 3a.
- the number of statuses can be expanded.
- the record types of this file are raw material, chemical, finished good (product number) and premix.
- the primary keys of this database file are RM number for raw materials, type and registration number for a chemical, product number for products, and RM number and product number for premixes.
- Initial sources of manufacturing status information for CAS numbers are government published inventories and non-government sources such as the Chemical Abstracts Services STN (Scientific Technical Information Network). Status information is also obtained by a company making direct chemical registrations with the pertinent government agencies. Sources of manufacturing status information for raw materials are obtained from suppliers who have reviewed the pertinent chemical components of a raw material and determined the particular CCL status. If all applicable chemical components of the raw material are listed on a CCL inventory then the manufacturing status is entered into a file as a "Y" (yes, all are listed); otherwise a "N" (all not listed) or "U” (listing is unknown) is entered. The various statuses of the Manufacturing Status File and the Sales Status File (mainly status #1, status #2, etc.) correspond to specific CCL inventories. The relationships are shown in Table 1 below:
- database file 18 holding the sales status information stores CCL sales status information associated with a particular CAS number, RM number, product number (finished good), or premix number (internally manufactured raw material) for each CCL country or region of the world.
- Information in the manufacturing status file 16 is written directly into the sales status file 18 such that a manufacturing status is equal to the corresponding sale status unless overridden by a direct entry made to the sales status file as shown in FIG. 3b.
- the fields of this file 18 are: chemical name; type; registration number; RM number; product number; sales status #1; sales status #2; etc.
- the number of statuses can be expanded to accommodate new CCL laws of developing countries.
- the record types of this file are raw material, chemical, finished goods (product number/formula), and premix.
- the primary keys of this database file are RM number for raw materials, type and registration number for a chemical, product number for products, and RM number and product number for premixes.
- a key program of compliance system 10 is the regulatory worksheet program 32, which displays the regulatory worksheet screen providing the interface for the entry of information, as seen in FIG. 4.
- the layout of the regulatory status worksheet 40 consists of three sections, as further depicted in FIG. 9.
- the upper section 42 is the raw material section
- the middle section 44 is the reaction product section
- the lower section 46 is the computer-determined block of overall CCL statuses.
- raw material section 42 of regulatory worksheet 40 Displayed in raw material section 42 of regulatory worksheet 40 for a given product number is information found in formula file 14 (sequence number, RM number, and activity percentage), raw material file 12 (raw material description, percent activity), and manufacturing and sales status files 16 and 18 (RM number, manufacturing and sales statuses). Data element spaces are available for user entry of amounts of RM reacted, number of reaction products, and polymer (answer Y or N).
- the ⁇ CMD 10> function key expands the raw material section of the worksheet and displays a block of CCL statuses of each raw material in the list. See FIG. 4a.
- the keyboard keys "Page Down” and "Page Up” allow the user to peruse the information.
- Displayed in reaction product section 44 of regulatory worksheet 40 for a particular product number is a field for entry of a CAS number or CCL registration number for the reaction product formed during manufacture of the product, and the information from manufacturing status file 16 and sales status file 18(the chemical name corresponding to the cas number or CCL Registration, and the individual CCL country or region manufacturing and sales statuses).
- the user by placing the cursor in the middle section, can scroll through the CCL manufacturing and sales statuses for the reaction product with the "Page Up" and "Page Down" keys of the keyboard. Entry of the CAS number or CCL registration number for the U.S. TSCA will repeat the entry for all other countries unless overridden. Types such as CAS and ACC precede the entry of the CAS number and CCL registration numbers and allow the programming to locate the correct records of the manufacturing and sales status files.
- Reaction section 44 can accommodate more than one reaction product being formed during the manufacture of a product. Additional fields appear for this situation by changing the "number of reaction products" of the raw material section of the worksheet from "1" to a greater integer. Entry of a "0" by the user indicates that no reaction is occurring and that the product is simply a mixture of raw materials. The reaction product section in this situation will not be displayed.
- Displayed in the overall CCL status section 46 of worksheet 40 is a block of overall statuses for the product number.
- the user Upon completing the setup of the worksheet screen, the user will strike the "enter” key on the keyboard (also referred to as the "return” or “transmit” key) which prompts worksheet program 32 to review the sales statuses of the raw materials and all reaction products of the particular product number. The review is conducted separately for each CCL country or region and the block of overall mfg and sales status are determined.
- the program updates the manufacturing and sale status files from a temporary file for the particular product number.
- the regulatory worksheet program also performs regulatory calculations such as the "Charged Wt %" and the “Incorporated Wt %” calculations used for determining the correct chemical names for polymers in many CCLs. All information is displayed on the worksheet screen for user appraisal and can be printed on demand.
- the notation used for the manufacturing and sales statuses of raw materials, premixes, and products are:
- Mfg means the manufacturing status
- Sale means the sales status
- X can be Y (Yes--listed), N (No--not listed), or U (Unknown--listing status not known).
- Groups of statuses are arranged into blocks for easy viewing of the CCL statuses of raw materials, premixes, or product numbers. An example of a complete block of statuses for a product are shown below:
- worksheet program 32 If all of the sales statuses of a product's raw materials, premixes (if applicable), or reaction products (if applicable) are "Y" for a specific country or region of the world, then worksheet program 32 generates an overall formula CCL status of "Mfg Y Sale Y". In any other instance, the statuses would be "Mfg N Sale N” unless the sales status had been overridden by direct entry into sales status file 18 for the product number or premix, in which case the overall formula status may be "Mfg N Sale Y".
- the regulatory meaning of the manufacturing and sales status for raw materials and products are important because they indicate whether or not an individual raw material or a product can be manufactured, imported, or sold commercially in a given CCL country or region of the world without requiring potentially costly registration.
- An overall commercial manufacturing and sales status for a raw material of "Mfg Y Sale Y" for a given CCL country or region indicates that all applicable chemical components are listed on the specific country regional CCL inventory.
- the raw material can be used for commercial manufacture, import, or sale in the indicated country or region of the world. No chemical registration is required.
- An overall commercial manufacturing and sales status for a raw material of "Mfg N Sale N" for a given CCL country or region indicates that all applicable chemical components are not listed on the specific country regional CCL inventory.
- the raw material can only be manufactured, imported, or sold for non-commercial research and development use only in the indicated country or region of the world. Further chemical registration is required for the non-listed chemical components prior to commercial manufacture, import, or sale of the raw material.
- An overall commercial manufacturing and sales status for a product of "Mfg Y Sale Y" for a given CCL country or region indicates that all raw materials and reaction products are listed on the specific country regional CCL inventory.
- the product can be used for commercial manufacture, import, or sale in the indicated country or region of the world. No chemical registration is required.
- An overall commercial manufacturing and sales status for a product of "Mfg N Sale N" for a given CCL country or region indicates that all raw materials and reaction products are not listed on the specific country regional CCL inventory.
- the product can only be manufactured, imported, or sold for non-commercial research and development use in the indicated country or region of the world. Further chemical registration is required for the non-listed chemical components prior to commercial manufacture, import, or sale of the product.
- An overall commercial manufacturing and sales status for a product of "Mfg N Sale Y” is the result of a sales status being overridden in the sale status file.
- a sales status override of "Y” is used for products commercially sold in a CCL country or region of the world having an inventory-based law. This override is for products in which a nonlisted (destination country) reactant is consumed by chemical reaction during manufacture to create a reaction product which is listed. In this situation this status indicates that the product can be sold in the destination site but not necessary manufactured.
- update program 28 Another key program of global compliance system 10 is update program 28. Any status change entered into the manufacturing status file 16 or sale status file 18 prompts update program 28 to again determine the formula overall CCL statuses. Temporary file 26 containing the changed status information for a RM number, CAS number, or a country specific registration number is compared to the status information in the manufacturing file. If the information is not equivalent, the overnight update program runs to determine the new overall formula CCL status for affected products or premixes during off-hours.
- the update feature of the system is particularly useful in that a company employee responsible for registering an unlisted chemical (a raw material or a reaction product of a product number) would, through an interface, change the corresponding CCL manufacturing status in the manufacturing status file record from "N" or "U” to "Y" upon completion of the CCL country or region registration requirements (inventory-based law).
- the update program would then review the worksheet raw materials and reaction product of all affected product number(s) to generate a new block of overall CCL statuses for each. If the registration was in a country or region which has a product-registration law, the employee would update the appropriate sales status file record for the product number from "N" or "U” to "Y".
- the global compliance system is an integral part of a global company with a large product line seeking to be compliant with Chemical Control Laws.
- the calculated CCL statuses are useful for certifying for customers that a product is compliant with specific CCLS.
- Printout of the block of overall status for a particular product in a letter format serves as certification to customers that the chemical component of a product are listed on a particular country regional inventory.
- the block of overall statuses for a product serves as a quick on-screen check for order entry, manufacturing, or sales employees whether or not a product can be manufactured, imported, or sold in a particular CCL country or region.
- the block of statuses can also be linked to related systems in order entry, manufacturing, shipping to provide greater control of these operations.
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Description
TABLE 1 ______________________________________Status # 1 U.S. Toxic Substances Control Act (TSCA)Status # 2 Canadian Domestic Substances List (DSL)Status # 3 European Inventory of Existing Chemical Substances (EINECS)Status # 4 Japanese Existing & New Chemical Substances (ENCS) Inventory Status #5 Australian Inventory of Chemical Substances (AICS) Status #6 Korean Existing Chemicals List (ECL) Status #7 Philippine Inventory of Chemicals & Chem. Substances (PICCS) Status #8 New Zealand Product Registration Status Status #9 Chinese Product Registration Status ______________________________________
[Country or Region] [Inventory Name]: Mfg X Sale X
______________________________________ "U.S. TSCA:Mfg Y Sale Y Canada DSL:Mfg Y Sale Y Europe EINEC:Mfg N Sale N Japan ENCS:Mfg N Sale N Korea ECL:Mfg U Sale U Australia AICS:Mfg N Sale N Philippines PICCS:Mfg N Sale N New Zealand:Mfg N Sale Y China:Mfg N Sale N" ______________________________________
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Priority Applications (4)
Application Number | Priority Date | Filing Date | Title |
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US09/025,232 US6122622A (en) | 1998-02-18 | 1998-02-18 | Computer aided system for compliance with chemical control laws |
PCT/US1998/025769 WO1999042940A1 (en) | 1998-02-18 | 1998-12-04 | Computer aided system for compliance with chemical control laws |
EP98963786A EP1057134A1 (en) | 1998-02-18 | 1998-12-04 | Computer aided system for compliance with chemical control laws |
DE29824700U DE29824700U1 (en) | 1998-02-18 | 1998-12-04 | Computer-based systems for compliance with chemical control laws |
Applications Claiming Priority (1)
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US09/025,232 US6122622A (en) | 1998-02-18 | 1998-02-18 | Computer aided system for compliance with chemical control laws |
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US6122622A true US6122622A (en) | 2000-09-19 |
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US09/025,232 Expired - Fee Related US6122622A (en) | 1998-02-18 | 1998-02-18 | Computer aided system for compliance with chemical control laws |
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US (1) | US6122622A (en) |
EP (1) | EP1057134A1 (en) |
DE (1) | DE29824700U1 (en) |
WO (1) | WO1999042940A1 (en) |
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Also Published As
Publication number | Publication date |
---|---|
WO1999042940A1 (en) | 1999-08-26 |
DE29824700U1 (en) | 2002-04-11 |
EP1057134A1 (en) | 2000-12-06 |
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